Custody for Private Fund Advisers
If you are a private fund adviser (i.e. hedge fund [...]
11
02, 2019
9
11, 2018
2019 FINRA Renewal Program for BDs and RIAs
The 2019 FINRA Renewal Program for Broker-Dealers, Investment Adviser Firms, [...]
29
10, 2018
SEC Strategic Hub for Innovation and Financial Technology (FinHub)
On October 18, the U.S. Securities and Exchange Commission (SEC) [...]
24
10, 2018
How to Register as an RIA: Rule 203 A-2(c)
As you may remember from our earlier blogs on registered [...]
17
10, 2018
NASAA Proposes Information Security Rule for RIAs
The North American Securities Administrators Association, Inc. (“NASAA”) is requesting [...]
12
10, 2018
RegTech: Regulatory Intelligence & Risk Management and Assessment
This blog post is the third and final entry in [...]
10
10, 2018
RegTech: Customer Identification and AML Compliance
Welcome to the second part of our three-part series on [...]
8
10, 2018
RegTech: Surveillance and Monitoring
In an effort to keep current with regulatory compliance requirements, [...]
16
08, 2018
ERA: Exempt Reporting Adviser Qualification – Part II
[Continued from ERA: Exempt Reporting Adviser Qualification – Part I] [...]
16
08, 2018
ERA: Exempt Reporting Adviser Qualification – Part I
Per the Investment Advisers Act of 1940 (the “Advisers Act”), [...]